Peter T. Perez

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Mill Valley, CA 94941

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CRD#: 4320916

Professional summary

Peter Thomas Perez is a registered financial advisor currently at NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC located in Mill Valley, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Thomas Perez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 14, 2022 - Present

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Office #1: 100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

RIA

CRD#: 165451

Mill Valley, CA

Past

June 18, 2013 - May 2, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

San Francisco, CA

Past

May 19, 2011 - December 14, 2012

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

September 12, 2007 - June 18, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN FRANCISCO, CA

Past

May 7, 2004 - January 6, 2006

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

February 6, 2001 - April 21, 2004

UBS CLEARING SERVICES CORPORATION

CRD#: 44883

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/14/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/30/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/5/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2003

General Securities Principal Examination

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

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Contact information

Main Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Mailing Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Phone number

(415) 287-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 137,623,976

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter T. Perez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Thomas Perez's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

THINKEQUITY LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

UBS CLEARING SERVICES CORPORATION

Primary Firm SEC Registration

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2022

Series 63

Date: 5/29/2001

SIE

Date: 5/2/2018

Series 55

Date: 5/30/2003

Series 7

Date: 2/5/2001

Series 24

Date: 2/13/2003

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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